Mar 8, 2022

Kent Hilton of SPC

DID KENT ALAN HILTON CAUSE YOU INVESTMENT LOSSES? Kent Hilton Of Sigma Financial And SPC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kent Hilton of SPC? Kent Hilton (CRD #1607376) who is currently registered with Sigma Financial, SPC and located in Hamburg, New York is a subject of one of our many securities industry sales practice abuse investigations. Kent Hilton Customer Complaints Kent Hilton has been the subject of 2 customer complaints that we know about. One of Kent Hilton’s 2 customer complaints was settled in favor of investors. One of Kent Hilton’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Kent Hilton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged she purchased unsuitable investments that were misrepresented by Kent Hilton. Client alleges that she purchased a variable annuity that was misrepresented by Kent Hilton and unsuitable given her investment objective. Client further stated that the variable annuity application was not signed in the state where the contract was issued. Kent Hilton Red Flags & Your Rights As An Investor Of course, Kent Hilton did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kent Hilton at Sigma Financial and SPC on alert to review carefully the activity and performance of their accounts and question whether Kent Hilton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sigma Financial and SPC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Sigma Financial Due To Kent Hilton If you have questions about Sigma Financial, SPC, and/or Kent Hilton and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Jason Hawke of D.H. Hill Securities

DID JASON STEVEN HAWKE CAUSE YOU INVESTMENT LOSSES? Jason Hawke Of  D.H. Hill Securities, Hawke Financial Group And Formerly With National Securities and National Asset Management Has 9 Customer Complaints For Alleged Broker Misconduct Who is Jason Hawke of D.H. Hill Securities? Jason Hawke (CRD #4177415) who is currently registered with D.H. Hill Securities, Hawke Financial Groupand located in Meridian, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to D.H. Hill Securities and Hawke Financial Group, Jason Hawke was associated with National Securities, National Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Hawke has also had his own regulatory problems.  In 2019, the State of Idaho alleged he violated FINRA rules in Idaho law when he personally participated in a private securities transactions without giving his broker-dealer prior notice.  As a result, he was suspended for 30 days and fined $10,000. Jason Hawke Customer Complaints Jason Hawke has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Jason Hawke’s 9 customer complaints were settled in favor of investors. Four of Jason Hawke’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Jason Hawke’s alleged misconduct. Allegations Against Jason Hawke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jason Hawke’s alleged unsuitability in connection with the purchase of inland western REIT. Client alleged misrepresentation by Jason Hawke. Misrepresentation, unsuitability, negligence, common law fraud and breach of fiduciary duty allegedly by Jason Hawke. Jason Hawke’s alleged misrepresentation. Misrepresentation and unsuitable investment allegedly by Jason Hawke. Negligence, unsuitability, breach of fiduciary duty, misrepresentation and failure to perform due diligence allegedly by Jason Hawke. Jason Hawke’s alleged suitability. by Jason Hawke’s alleged unsuitable investments, breach of fiduciary duty, common law fraud, violation of Securities Exchange Act and violation of Idaho Securities Laws. Jason Hawke’s alleged unsuitable recommendations. Jason Hawke Red Flags & Your Rights As An Investor Of course, Jason Hawke did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jason Hawke at D.H. Hill Securities, Hawke Financial Group, National Securities, and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether Jason Hawke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at D.H. Hill Securities, Hawke Financial Group, National Securities, and National Asset Management also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At D.H. Hill Securities Due To Jason Hawke If you have questions about D.H. Hill Securities, Hawke Financial Group, National Securities, National Asset Management, and/or Jason Hawke and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Jeremy Hay of Berthel Fisher & Company Financial Services

DID JEREMY SHANE HAY CAUSE YOU INVESTMENT LOSSES? Jeremy Hay Of Berthel Fisher & Company Financial Services And BFC Planning Has A Customer Complaint For Alleged Broker Misconduct Who is Jeremy Hay of Berthel Fisher & Company Financial Services? Jeremy Hay (CRD #2697622) who is currently registered with Berthel Fisher & Company Financial Services, BFC Planning and located in Clanton, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Jeremy Hay Customer Complaint Jeremy Hay has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the investments purchased were unsuitable and misrepresented by the representative. The clients also alleged the firm failed to supervise the actions of the representative and failed to perform adequate due diligence. The customer complaint filed against Jeremy Hay’s current employer Berthel Fisher & Company Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Jeremy Hay Red Flags & Your Rights As An Investor Of course, Jeremy Hay did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jeremy Hay at Berthel Fisher & Company Financial Services and BFC Planning on alert to review carefully the activity and performance of their accounts and question whether Jeremy Hay has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher & Company Financial Services and BFC Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Berthel Fisher & Company Financial Services Due To Jeremy Hay If you have questions about Berthel Fisher & Company Financial Services, BFC Planning, and/or Jeremy Hay and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

David Hirons of Wedbush Securities

DID DAVID ROGER HIRONS CAUSE YOU INVESTMENT LOSSES? David Hirons Of Wedbush Securities And Formerly With RBC Capital Markets Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Hirons of Wedbush Securities? David Hirons (CRD #2424566) who is currently registered with Wedbush Securities and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wedbush Securities, David Hirons was associated with RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Hirons Customer Complaints David Hirons has been the subject of 4 customer complaints that we know about. Two of David Hirons’ 4 customer complaints were settled in favor of investors. Two of David Hirons’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Hirons A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant, a California resident, alleged misrepresentation against David Hirons for investments in managed futures fund. Customer claimed that the mutual fund they purchased was described as an investment that would not lose principal allegedly by David Hirons. The claimant alleged David Hirons incorrectly executed numerous options. The statement of claim includes claims for trade error execution errors. Prior allegations: request for trade error reimbursement. Trades were executed in cash account and then were moved to the margin account. The allegation involved David Hirons’ assurance that a closed end fund was sold with a guarantee of no risk. David Hirons Red Flags & Your Rights As An Investor Of course, David Hirons did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Hirons at Wedbush Securities and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether David Hirons has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush Securities and RBC Capital Markets also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wedbush Securities Due To David Hirons If you have questions about Wedbush Securities, RBC Capital Markets, and/or David Hirons and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Joe Haywood of Sorrento Pacific Financial

DID JOE NEIL HAYWOOD CAUSE YOU INVESTMENT LOSSES? Joe Haywood Of Sorrento Pacific Financial And Formerly With FSC Securities And The Retirement Group Has 4 Customer Complaints For Alleged Broker Misconduct Who is Joe Haywood of Sorrento Pacific Financial? Joe Haywood (CRD #1441862) who is currently registered with Sorrento Pacific Financial and located in El Segundo, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sorrento Pacific Financial, Joe Haywood was associated with FSC Securities, The Retirement Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joe Haywood Customer Complaints Joe Haywood has been the subject of 4 customer complaints that we know about. All of Joe Haywood’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Joe Haywood A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Joe Haywood’s alleged misrepresentation on purchase of Variable Annuity. Client alleged Joe Haywood’s misrepresentation in the purchase of two nontraded REITs. Client alleged that Joe Haywood did not place him into better performing funds against the client’s best interest. Customer alleged Joe Haywood’s misrepresentation on purchase of Variable Annuity. Joe Haywood Red Flags & Your Rights As An Investor Of course, Joe Haywood did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joe Haywood at Sorrento Pacific Financial, FSC Securities, and The Retirement Group on alert to review carefully the activity and performance of their accounts and question whether Joe Haywood has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sorrento Pacific Financial, FSC Securities, and The Retirement Group also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Sorrento Pacific Financial Due To Joe Haywood If you have questions about Sorrento Pacific Financial, FSC Securities, The Retirement Group, and/or Joe Haywood and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Robert Hitchcock of Centaurus Financial

DID ROBERT WARREN HITCHCOCK CAUSE YOU INVESTMENT LOSSES? Robert Hitchcock Of Centaurus Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Hitchcock of Centaurus Financial? Robert Hitchcock (CRD #1445875) who is currently registered with Centaurus Financial and located in Norwood, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Robert Hitchcock Customer Complaint Robert Hitchcock has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the financial advisor recommended an unsuitable investment.  Robert Hitchcock’s customer complaint was denied and, to date, the customer has not taken any further action. Robert Hitchcock Red Flags & Your Rights As An Investor Of course, Robert Hitchcock did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Hitchcock at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Robert Hitchcock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Centaurus Financial Due To Robert Hitchcock If you have questions about Centaurus Financial and/or Robert Hitchcock and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

John Hoekman formerly with Wells Fargo Clearing Services

DID JOHN WILLIAM HOEKMAN CAUSE YOU INVESTMENT LOSSES? John Hoekman Formerly With Wells Fargo Clearing Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is John Hoekman formerly with Wells Fargo Clearing Services? John Hoekman (CRD #2455445) who was formerly registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. John Hoekman has also been the subject of a FINRA investigation in which he consented to the sanction and entry of findings that he failed to provide documents and information requested by FINRA during the course of an examination into allegations that without the knowledge and consent of his member firm engage in certain outside business activities and participated in private securities transactions in violation of FINRA code of conduct.  The sanction was a permanent bar from any further association with any member firm in any capacity John Hoekman Customer Complaints John Hoekman has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Seven of John Hoekman’s 8 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley DW for investment losses caused by John Hoekman’s alleged misconduct. Allegations Against John Hoekman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable investment recommendations were made in accounts. Client alleged John Hoekman induced her to loan money to a third party for an offering on the Singapore Exchange, without disclosing material facts. Claimant alleged John Hoekman made unsuitable recommendations to hold equities. Claimant alleged that John Hoekman’s investment recommendations made were misrepresented and unsuitable. Claimant alleges unsuitable investment recommendations, misrepresentations and omissions, breach of fiduciary duty, breach of contract, failure to supervise, fraud, constructive fraud, negligence and gross negligence and violation of the federal securities laws against Stephens Inc.   Client alleged that John Hoekman’s purchase of mutual funds were unsuitable. Customer alleged John Hoekman’s improper recommendations and as a result the customer claims he suffered substantial losses. Customer alleges unsuitability and failure to supervise.. Plaintiffs alleged that investment recommendations made were misrepresented by John Hoekman. John Hoekman Red Flags & Your Rights As An Investor Of course, John Hoekman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Hoekman at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John Hoekman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To John Hoekman If you have questions about Wells Fargo Clearing Services and/or John Hoekman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

David Heide of RBC Capital Markets

DID DAVID CHARLES HEIDE CAUSE YOU INVESTMENT LOSSES? David Heide Of RBC Capital Markets And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is David Heide of RBC Capital Markets? David Heide (CRD #2112032) who is currently registered with RBC Capital Marketsand located in Palos Heights, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, David Heide was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Heide Customer Complaint David Heide has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client claimed that their financial advisor failed to follow their instructions, and sold an equity which should have been restricted within their advisory managed account.  David Heide’s customer complaint was denied and, to date, the customer has not taken any further action. David Heide Red Flags & Your Rights As An Investor Of course, David Heide did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Heide at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether David Heide has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets Due To David Heide If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or David Heide and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kelly Hoff of Cambridge Investment Research

DID KELLY ANN HOFF CAUSE YOU INVESTMENT LOSSES? Kelly Hoff Of Cambridge Investment Research And Formerly With Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Kelly Hoff of Cambridge Investment Research? Kelly Hoff (CRD #3163327) who is currently registered with Cambridge Investment Research and located in Prairie Farm, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Kelly Hoff was associated with Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kelly Hoff Customer Complaint Kelly Hoff has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleges the investment was not appropriate or suitable. Kelly Hoff’s customer complaint was settled in favor of the investors. Kelly Hoff Red Flags & Your Rights As An Investor Of course, Kelly Hoff did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kelly Hoff at Cambridge Investment Research and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Kelly Hoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research and Transamerica Financial Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cambridge Investment Research Due To Kelly Hoff If you have questions about Cambridge Investment Research, Transamerica Financial Advisors, and/or Kelly Hoff and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Thomas Heidenrich of Robert W. Baird & Co.

DID THOMAS SCOTT HEIDENRICH CAUSE YOU INVESTMENT LOSSES? Thomas Heidenrich Of Robert W. Baird & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Heidenrich of Robert W. Baird & Co.? Thomas Heidenrich (CRD #2803223) who is currently registered with Robert W. Baird & Co.and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Thomas Heidenrich Customer Complaint Thomas Heidenrich has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were  third party ex-wife non-client of a Baird associate alleged that the Baird associate’s Baird Financial Advisor provided her inaccurate information regarding the accounts of the adult sons of the Baird associate and his ex-wife. Thomas Heidenrich’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Heidenrich Red Flags & Your Rights As An Investor Of course, Thomas Heidenrich did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Heidenrich at Robert W. Baird & Co. on alert to review carefully the activity and performance of their accounts and question whether Thomas Heidenrich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird & Co. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Robert W. Baird & Co. Due To Thomas Heidenrich If you have questions about Robert W. Baird & Co. and/or Thomas Heidenrich and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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